Series 24 Jobs
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Search Results - Series 24 Jobs
Vigilant Compliance-Chadds Ford
experience within a FINRA-registered broker-dealer and/or SEC-registered Investment Advisor (RIA).
• Licensing Requirements: Series 24 (General Securities Principal) highly preferred and Series 7 (General Securities Representative) highly preferred...
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Associate Staffing-Fort Mill
regulations and firm policies. This position involves reviewing marketing materials for financial advisors joining and providing guidance on compliance.
Qualifications:
• Licenses/Certifications Required: FINRA Series 7, 24 (bonus if you have the 63 or 66...
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Leeds Professional Resources-Miami
Job Description
We are seeking a Supervisory Principal to join our client's team! This role requires a Series 24 and fluency in English and Spanish.
Responsibilities
• Act as a liaison for transitioning practices to the broker dealer home office...
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Glocap Search-New York
management, asset management, or advisory businesses.
• Series 24 License (preferred)
• Strong organizational skills with the ability to manage multiple priorities in a fast-paced environment.
• Self-motivated with excellent communication and problem-solving...
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Toss Securities US LLC-New York
Proficiency in routing methodologies.
• Bachelor’s degree in a related field, or equivalent experience and training
• FINRA Series 7 & Series 24 licenses required. Series 57 and 4 are a plus.
Equal Opportunity Employer
Toss Securities US is an Equal...
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Fifth Third-New York
financial services business.
• Expertise in one or more industries; established contacts at private equity firms and institutional investors.
• Required licenses: Securities Industry Essentials (SIE), Series 79, and Series 63. Series 24 (Supervisor...
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appcast.io -
Prime Capital Financial-Overland Park
Series 24 (in addition to the aforementioned requirement) are preferred
• Available to travel up to 33% of the time
• Successful completion of industry-standard background screening is required...
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Kybora GmbH-West Palm Beach
Series 24 (General Securities Principal) or equivalent, as needed to oversee broker-dealer compliance. Maintaining these licenses in good standing (with continuing education, etc.) is a condition of employment.
• Technical & Analytical Skills:
• While...
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appcast.io -
Northwestern Mutual-Melville (NY)
Series 7, 24, 4, 53, and 63 may be considered in lieu.
• FINRA Series 24 required within 90 days of employment.
• Active Life/Health licenses or obtain within first month.
• 5+ years of progressive industry experience with an emphasis in areas...
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Tulsa
or equivalent combination of education and experience. Completed or working towards completion of a FINRA license (e.g., Series 7, Series 66, Series 24).
• Working knowledge of Compliance regulations for financial institutions, registered entities...
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tiptopjob.com -
Charlotte
licensing required (SIE, Series 7, Series 63, and Series 24), or ability to obtain within 120 days
• Strong understanding of asset management, investment products, and distribution channels
• Proven ability to build relationships, influence outcomes...
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principal.com -
Rothschild Wealth Partners-Chicago
regulatory risk and recommend practical business solutions.
• Bachelor's degree or equivalent industry experience.
Licenses and Registrations.
Preferred include:
• SIE
• Series 7
• Series 24
• Series 65 or Series 66
The firm will support additional...
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